On October 23, the State Securities Inspectorate fined OCBS Securities Joint Stock Company a total of VND342.5 million for two violations. The company was fined VND92.5 million for failing to retain full records, as it did not keep phone recordings of customers' order calls for 21 transactions made through some accounts in 2025. The other violation, which drew a VND250 million fine, involved advising on a private bond offering in August 2025 without fully meeting regulatory content requirements. In Q3 2026, OCBS's operating revenue reached VND259 billion, up 91% year-on-year, and pre-tax profit reached VND105 billion, up 13%. For the first nine months, pre-tax profit was VND201 billion, up 99%, and after-tax profit reached VND157 billion, up 69% from the same period in 2025.
Summary written by Upside AI from the original article. Read the source for full details.
Original headline: Phạt công ty chứng khoán không lưu trữ ghi âm cuộc gọi đặt lệnh của khách hàng
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Related tickers and likely impact
VNINDEX
• NeutralRelevance: low
| Market | Vietnam stocks |
|---|---|
| Close on 10/23/2026 | 1,774.15 |
| Change that session | +0.77% |
Impact is scored by AI from the headline and may be wrong. It is not investment advice.
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